DQ1B - ? ? ? The SEC's principal objectives

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What are three primary roles of the SEC? How does the Sarbanes Oxley Act augment the  SEC’s role in managing financial governance? Do you think that businesses are more ethical  after the passing of the Sarbanes Oxley Act? What examples are there to support you answer? The SEC's principal objectives are: (1) to ensure that the securities markets operate in a fair and orderly manner; (2) that securities industry professionals deal fairly with their customers; and (3) that corporations make public all material information about themselves so that investors can make informed investment decisions. The SEC pursues these objectives by: mandating that companies disclose material business and financial information; overseeing the operations of the Security Regulatory Organizations (SROs); adopting rules with which those involved in the purchase and sale of securities must comply; and filing lawsuits or taking other enforcement action in cases where the law has been violated. Despite the many protections provided by federal and
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This note was uploaded on 04/11/2011 for the course FIN 370 taught by Professor Unknown during the Spring '08 term at University of Phoenix.

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DQ1B - ? ? ? The SEC's principal objectives

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